RIMS Manage, Track & Secure Your files Records Storage and Retrieval

CONTENTS RECORDS STORAGE METHODS RECORDS RETRIEVAL PROCESS STORAGE EQUIPMENT AND SUPPLIES MANAGEMENT OF ACTIVE RECORDS FILE MAINTENANCE AND ACCESS INTRODUCTION

Definition: Records management is the systematic control of records from their creation or receipt, through their processing, distribution, organization, storage, and retrieval and to their ultimate disposal

What is the goal of Records Management? The goal of records management is to get the: right record (accuracy in data retrieval) to the right person (accuracy in destination) at the right time (efficiency) at the lowest cost (cost-effectiveness)

What is Records Storage? The placement of records according to a plan (organized/logical method) e.g. on a shelf or in a file drawer or electronically on computerized devices and media.

What is Records Retrieval? The systematic process of finding and removing records from a storage area.

RIMS Manage, Track & Secure Your files Records Storage

What type of records will you store? USEFUL RECORDS IMPORTANT RECORDS VITAL RECORDS

A storage method is……….. .. a systematic way of storing records according to Alphabetic Numeric Subject Geographic or Chronologic plan

ALPHABETICAL SYSTEM The Alphabetic System is the foundation of all storage filing methods arranged by words or letters of the alphabet. These often take on the procedures to filing including inspecting, indexing, coding, sorting and filing.

Indexing Inspecting This is the process of deciding the name or heading under which the document is to be filed. Some common rules for indexing on a unit-by-unit basis are observed including personal names are transposed, nothing comes before something, names with prefixes where punctuations are disregarded etc. When a document is checked for readiness it should bear a release mark of either a stamp or initial in the upper right corner. This determines under what name or caption the paper is to be filed.

Coding The name, number or subject under which the correspondence is to be filed is underlined or circled. Sometimes a cross-reference may be necessary as the item could be placed under several headings.  Here colour-coding converts the number or alphabets to speed up the filing process and eliminates the use of index cards.

Sorting Filing Documents are placed in the relevant folders and their respective storage areas. All correspondence is placed in alphabetical or numerical order according to the names or headings that have been underlined or circled.

Numerical System With numerical filing methods, each name, document or folder is given a number in exact numerical sequence. Index cards are required to connect names to numbers.

Subject Folders Subject System This system is used for filing general correspondences placed in alphabetical order using primary guides.

Geographic System Correspondences are classified according to location that is country, county, parish and town etcetera. Papers are place according to their place of origination or destination.

Chronologic System Documents are filed according to their dates in a numerical order. It uses alpha, subject, numeric and geographic methods with the most recent on top.

RECORDS RETREIVAL PROCEDURES RIMS Manage, Track & Secure Your files RECORDS RETREIVAL PROCEDURES

Records Retrieval Process Record Request Store Record Refer to Index Records Retrieval Process Record Search Receive Record Retrieve Record Follow-up Records must be retrieved by following standard procedures. The same process that is used to retrieve manual records is also used for electronic and image records. Remove Record Record to Requester Charge-out Record

How can Records be retrieved? Records can be retrieved in THREE ways: Manually Mechanically Electronically

How are records requested? Orally Face to face, telephone, intercom, messenger In writing fax, email, memo, letter, special form

Effective records control Who took the record? What records are out of storage? When were the records taken? How long will the records be out of storage? Where will the records be re-filed when they are returned to storage?

Requisition Procedures Requisition Form On-call (wanted) Form Confidential Request

Charge-out Procedures 1 OUT INDICATORS 2 CARRIER FOLDERS 3 CHARGE OUT LOGS

Follow-up Procedures Some factors that affect the length of time for which records are borrowed: The type of business The number of requests received for the record The use of a copying machine The value of the records Reduces lost files Reduces misfiled records

Charge-out Log What record was taken? When the record was taken? Who took the record? (name, extension number, e-mail address) Date due for returning the record Date returned Date overdue notice was sent Extended date due

Electronic Records Management

STORAGE EQUIPMENT AND SUPPLIES RIMS Manage, Track & Secure Your files STORAGE EQUIPMENT AND SUPPLIES

Need to know: What type of equipment and supplies are used most in the office? What is the specific vocabulary for RIM equipment and supplies?

Selection Criteria for Equipment Storage and retrieval requirements Space requirements Security requirements Equipment costs Operation costs Number of persons regularly accessing records Physical characteristics of records

Selection Criteria for Supplies Equipment compatibility Efficiency Quality Economy

Vertical File cabinets Lateral File cabinet

Shelf Files

Box files

Folders

File fasteners Treasury Tags Optical Disc in sheet protector File out tray

Suspension files Index Cards File Rotary card index

MANAGEMENT OF ACTIVE RECORDS RIMS Manage, Track & Secure Your files MANAGEMENT OF ACTIVE RECORDS

Active Records Document or Record Undergoes Processing Referred to frequently (at least once per month) Also called current records

Active Records Storage Active records should be stored in a close location to persons who need to access the information.

Active Records users Who are the potential users of Active Records? No specific user Anyone who needs this record and has the authorization to view and use it

TYPES OF STORAGE SYSTEMS Centralized Decentralized Combination

CENTRALIZED STORAGE Advantages keeps related records together minimizes duplicate records provides one-stop retrieval of records Provides better utilization of space, equipment and personnel Disadvantages inconvenience to the department

DECENTRALIZED STORAGE Advantages Disadvantages allows managers to retain control over records immediate access by managers to their own records all related records are not kept together maximum equipment utilization duplicate records are encouraged

COMBINATION STORAGE SYSTEM Advantages minimizes misfiles and lost records better cost efficiency Minimizes duplicate records

What about files that are not active?

FILE MAINTENANCE AND ACCESS RIMS Manage, Track & Secure Your files FILE MAINTENANCE AND ACCESS

FILE MAINTENANCE Avoid overcrowding. Purge files according to a schedule to be able to find needed items quicker. This will save on storage. Labels should be uniformed, current, clearly visible and quick to identify.

FILE MAINTENANCE CONTINUED Insert paper records facing forward and consistently insert new papers into the front. Arrange documents chronologically making sure to always alphabetize and cross-reference for the obvious reason of saving time looking for a file.

ACCESSING FILES Persons accessing files should have knowledge of the record system. There must be established procedures for requisitioning and charging out records. Files should be clearly identified with any material which they consider confidential.

ACCESSING FILES CONTINUED Provide a back-up for separate non-confidential version. In legal reasons, keep a concise description of each piece of deleted information.

Wake up the presentation is over!